- Raymond James Financial, Inc. (New York, NY)
- …for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ... professionals to support business growth and adapt to changing regulatory landscapes. + Foster a culture of compliance... practices, concepts, and procedures. + SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …Responsibilities . Lead and oversee all aspects of the bank 's compliance programs, ensuring adherence to regulatory requirements, including CRA, ECOA, HMDA, ... with executive and operational teams to ensure alignment of regulatory compliance priorities with overall business objectives....or audits. This is an opportunity to lead meaningful compliance efforts that impact both the bank … more
- Chemung Canal Trust Company (Elmira, NY)
- … compliance needs and other duties as assigned. + Schedules and performs compliance reviews as outlined by the bank 's compliance monitoring schedule ... The review schedule includes testing the key functions, processes, and controls of the bank to ensure compliance with current laws and regulations. + Assists in… more
- Capital One (Mclean, VA)
- …the overall culture of Capital One. **Role Description** GV&I is seeking a Manager-level Compliance Advisor with a regulatory / compliance background to ... or compliance at a financial institution, consulting firm, or regulatory agency **Preferred Qualifications:** + Master's degree in Business Administration, Juris… more
- MUFG (Irving, TX)
- …including experience in the financial crimes compliance area of a global bank , consulting firm, or regulatory agency. + Experience with performing ... + Engage directly with management with a goal to independently lead end-to-end compliance testing reviews, applying the Bank 's testing methodology for MUFG … more
- Scotiabank (Dallas, TX)
- …You'll Do** + Scope and execute compliance testing in order to assess compliance with legal, regulatory and internal firm policy requirements. + Focus on the ... management and validation testing efforts. + Understand how the Bank 's risk appetite and risk culture should be considered...reporting experience. **What You'll Bring** + 5-7 years of compliance , audit or regulatory exam support, at… more
- KeyBank (Cleveland, OH)
- …training or continuing education opportunities to further develop overall knowledge of regulatory compliance , banking products and services, industry trends, and ... maintains relevant professional and/or industry sponsored certifications in risk management and/or compliance (eg - Certified Regulatory Compliance Manager… more
- JPMorgan Chase (Newark, DE)
- …and FinCEN 314(b) workstreams. Additionally, you will provide direction to assess and uphold the bank 's compliance with Section 314 of the USA PATRIOT Act and ... Bank Secrecy Act (BSA) regulatory requirements for...degree or 10+ years of experience in related business, Compliance , or legal functions, or equivalent regulatory … more
- BMO Financial Group (Milwaukee, WI)
- …sensitive Bank , customer, transactional and employee information to ensure compliance with regulatory requirements.** **Communicates the roles and importance ... is looking for a Compliance Officer. We focus on regulatory compliance for Commercial Banking, including Commercial Lending & Leasing and Treasury Payment… more
- New York State Civil Service (Albany, NY)
- …Monitors institution's financial condition, compliance with laws and regulations and regulatory reporting. * Meets with bank management to discern present ... and* Other duties as assigned. Minimum Qualifications Preferred QualificationsPrior experience with bank regulatory safety and soundness rating systems such as… more